The course provides an overview of the regulation of investment companies and the parties that provide essential services to investment companies.  The course:

• Discusses the various sources of law that regulate investment companies
• Discusses the various types of investment companies regulated by the federal securities laws
• Examines legal issues and requirements that pertain to organizing and launching an investment company
• Examines the legal requirements that apply to the registration and offering of investment company shares
• Examines legal and regulatory requirements that apply to the day-to-day operation of an investment company
• Identifies Securities and Exchange Commission filing obligations of investment companies
• Outlines investment company compliance obligations